Posts tagged Anti-Retaliation Rule.
On June 16, 2014, the SEC entered an order (the "Order") instituting cease and desist proceedings against an investment adviser, Paradigm Capital Management, Inc. ("Paradigm"), and Paradigm's founder, Director, President, Chief Investment Officer, and Portfolio Manager, Candace King Weir ("Weir"). The Order made findings and imposed a cease and desist order against Paradigm and Weir. In the Order, the SEC found that Paradigm and Weir had engaged in improper trading activity and that Paradigm had retaliated against Paradigm's head trader (the "Whistleblower") after ...
Posted in: SEC